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InvestHub.com's
Finance Dictionary and Glossary of Investment Terms

Compliance department  

Definition 1.

A department in all organized stock exchanges to ensure that all companies, traders, and brokerage firms comply with Securities and Exchange Commission and exchange rules and regulations.
 

Definition 2.

The department within a brokerage firm that oversees the trading and market-making activities of the firm.
 

Definition 3.

The department within a brokerage or stock exchange that oversees trading and other activities to ensure that SEC regulations are being adhered to. also called compliance unit.
 
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